Web Stories

Compliance program provides information, resources to University community

Posted April 14, 2005; 12:20 p.m.

by Ruth Stevens

The University's Institutional Compliance Program -- begun last fall
with the appointment of a chief compliance officer -- has launched a
new Web site that will serve as a repository of information about
compliance and will direct members of the University community to
resources available on this issue.

The program, headed by Laurel Harvey, also is creating some print
publications, such as a brochure and a Management Standards Guidebook,
to create awareness of its work and provide additional information.

As a member of the president's cabinet, Harvey is responsible for
monitoring, coordinating and providing general oversight for efforts
throughout the University to ensure compliance with internal policies
and procedures and with external requirements imposed by law,
regulation and contracts or grants. She works closely with Director of
Internal Audit Joseph Bielamowicz and the Executive Compliance
Committee.

When she was appointed in November, Harvey said that her goal was to
make compliance easier for members of the University community by
providing them with the central administrative support they need to
understand and follow the policies, regulations, contractual
obligations and laws that apply to them.

"Since November, I have been developing a framework for compliance
efforts at Princeton that enables us to meet our obligations, fits our
culture and reflects some best practices derived from the
Sarbanes-Oxley Act," she said. "My intent is to make sure that managers
and others throughout the University have the information and other
tools they need to carry out their responsibilities effectively."

Harvey noted that the new Web site is an important step in that
process. "Compliance is everyone's responsibility -- faculty, staff and
students who work on behalf of the University assume responsibility for
conducting their operations within the law and in keeping with
Princeton's highest ethical standards," she said. "Now they will have
some ready resources to which to turn for information and guidance."

The Web site includes a summary
of the core principles of conduct that the University expects all
faculty, staff and students to understand and follow. In addition,
references to relevant policies, such as "Rights, Rules,
Responsibilities," are provided.

To help navigate through the myriad policies and external regulations,
the site features a comprehensive list of offices and employees who are
responsible for monitoring laws, setting University policy, and
communicating procedures and policies to faculty and staff.

A Compliance Helpline form also is available on the Web site for
members of the University community to ask questions or express
concerns regarding compliance issues or to report noncompliance. Those
who fill out the form can elect to remain anonymous.

The Management Standards Guidebook, which will be available on the
Web site as well as in print, is based on a similar piece developed
several years ago by the Academic Managers Group. With the help of the
group's members, Harvey expects to have a draft version of the
guidebook prepared by the end of the academic year.

The brochure will be available in the coming weeks through the
Institutional Compliance Program. For more information, call (609) 258-3045
or send an e-mail message.